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What falls under 1%?
Rule 144 - Volume limits on sales of outstanding stock (4 weeks average trading volume)
What falls under 5%?
What falls under 8.5%
Max sales charge on mutual funds
What falls under 10%?
- a. Max syndicate fees
- b. Bounty to informants
- c. Carve out procedures for allocation on hedge fund w/ restricted person
- d. Market decline trigger for one hour halt
- e. Undue concentration amount for one security to affect net capital
What falls under 20%?
- Heightened supervisory threshold
- market decline trigger for 2hr halt
What falls under 30%?
- Market decline for trigger halt - rest of day
- Minimum equity maintenance in short margin account
- Volume limits for passive market maker
What fall under 40%?
Haircut w/ limited market makers (3m.m.'s)
What falls under 70%?
Debt to equity ratio >90 days
What falls under 80%?
Rule 147 - issuer assets AND sales within states.
What falls uder 100%?
- Haircut of B/D is only market maker
- Deposit required in cash account
What falls under 105%?
If B/D chooses to calculate reserve requirement monthly rather than weekly.
What falls under 120%?
- Fidelity Bond
- early warning
What falls under 140%?
Customer debit balance - B/D may re-hypothecate to bank